BM
BM
Brian Mallon
19 Years of Experience
Tampa, FL
2 DisclosuresBroker
Brian Mallon is a registered investment advisor at Cetera Investment Advisers LLC, based in Tampa, FL, with 19 years of industry experience. Brian operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
1715 N Westshore Boulevard Suite 260, Tampa, FL, 33607
Get directionsHistory
Regulatory History (2)
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Judgment / Lien
August 2019Financial
January 2019Final
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2021 - Present · 4 yrs 8 mos
Cetera Investment Services LLCBroker
June 2019 - Present · 6 yrs 11 mos
Previous Registrations
Foresters Financial Services, INC.Broker
September 2015 - June 2019 · 3 yrs 9 mos
Princor Financial Services CorporationBroker
November 2014 - January 2015 · 2 mos
First Union Securities Financial Network, INC.Broker
April 1999 - February 2001 · 1 yr 10 mos
Northeast Securities, INC.Broker
July 1996 - April 1999 · 2 yrs 9 mos
Corporate Securities Group, INC.Broker
September 1994 - August 1996 · 1 yr 11 mos
Josephthal Lyon & Ross IncorporatedBroker
June 1992 - October 1994 · 2 yrs 4 mos
Chatfield Dean & CO., INC.Broker
April 1992 - June 1992 · 2 mos
Lew Lieberbaum & CO., INC.Broker
April 1992 - April 1992 · 0 mos
State Registrations1 state
FL
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.